DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• W•••••• D••••
Feed of 09/14/2026
Also filed as D••••• D••••
At current firm
11 y
since Feb 27, 2015
In the industry
16 y
since Oct 2, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Feb 27, 2015 · Conway, Ar
- E••••• J•••• national BDOct 6, 2009 to Apr 2, 2013 · Conway, Ar
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to S•••••• W••••• P•••••••• L••left Apr 2, 2013, registered Feb 27, 2015 (696 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address